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The Compliance Year in Review
The Compliance Year in Review
 

December 1, 2016

Division
Investment Adviser

Speaker: Jessica Huelbig, Senior Principal Consultant, ACA Compliance Group
Speaker: Sara Beier, Senior Principal Consultant, ACA Compliance Group
Speaker: Jeff Ziesman, Partner, Bryan Cave LLP
Speaker: Sofya Abrams, Counsel, Sidley Austin LLP


Webcast Discussion Includes:

  • Noteworthy enforcement actions
  • Examination trends
  • SEC focus areas and risk alerts
  • Regulatory horizon